4. What is the dissertation proposal?
A dissertation proposal is supposed to:
describe what you propose to do
discuss why you propose to do it
explain how you propose to do it
This involves the first three chapters of
your thesis: Introduction, Literature
Review and Methodology
5. Your dissertation proposal should answer
the following questions:
What problem are you going to pursue?
Why is it a problem?
Why is it important to address?
Where are you going to look for answers?
Why are you going there?
6. Writing Thesis/Dissertation Proposals:
The Big Picture
Your proposal describes your proposed plan of work:
What you intend to study (scope and research
questions).
How you intend to study your topic (methodology).
Why this topic needs to be studied (significance).
When you will complete this work (timeline).
(Occasionally) Where you will conduct this work.
7. Writing Thesis/Dissertation Proposals
Purpose:
Justify and plan (or contract for) a research project.
Show how your project contributes to existing research.
Demonstrate that you understand how to conduct
discipline-specific research in an acceptable time-frame.
Audience:
your academic advisor and committee
8. Proposal Writing and Anxiety:
General Advice
Establish a writing schedule.
Begin by free-writing.
Keep a small notebook with you to write down
relevant thoughts.
Say parts of your writing into a recording device.
Compose different parts in different computer
files or on different index cards.
Start with more “clear cut” sections first.
9. Proposal Writing and Anxiety:
Proposal-specific Advice
Understand that the proposal will be
negotiated--be prepared to revise!
Think of the proposal as an introduction to
your thesis or dissertation.
Remember that the proposal is not a binding
contract.
Remember that your proposal is not meant to
limit ideas, but to help you think practically.
Ask colleagues to form a writing group.
Talk to your advisor!
10. Parts of a Proposal
Title
Abstract
Introduction/Background
Problem Statement
Purpose/Aims/Rationale/
Research Questions
Review of Literature
Methodology
Significance/
Implications
Overview of Chapters
Plan of Work
Bibliography
11. Components of A Dissertation Proposal
Title
Introduction
Aims and Objectives
Methodology and methods
Scope and limitations
Resources
Work Schedule/Timeline
12. The dissertation proposal should:
state the purpose of your dissertation research
discuss the relevance of your dissertation topic
include a brief literature review on your dissertation topic
include the method you will use to investigate your
dissertation topic
include where you will collect your dissertation data from,
and a time frame for completing the dissertation
13. Some questions to consider
What is the contribution to knowledge in your field of
study?
Has it been done by others before?
What is the theoretical framework for the study?
What are the research hypotheses or questions?
Are data, if needed, available?
How to collect data?
What are the appropriate methods in analyzing the data?
What are the expected end results?
Can the thesis be done within the time period of study?
14. Why are you interested in your area of
research?
Why did you chose to research in this area?
How does your work relate to and differ from
other work?
What work or theories does your research draws
on?
How and why did you chose your methodology
and what other methodologies have you
considered?
15. Dissertation Proposal Format: An Example
Title: Title of proposed research, and identity of
the investigator
Abstract : Summary of the area of investigation,
some recent literature relating contemporary
issues and raising research questions, brief
explanation of methodology and probable
conclusions
Table of contents
16. Chapter 1: Introduction and Statement of the
Problem
Introduction: Overview of the study
Address the Problem
Why is the problem important?
What is the nature of the study?
State Research Questions
Background: An overview of the development of the
topic
Explain the importance of the study
Terms and concepts explained
17. Chapter 2: Literature Review
o Review of relevant literature, past and current,
providing history and acknowledging/recognising
work of others in the field
Chapter 3: Methodology
o Explain how the study will be conducted
o Describe method in detail
o Explain what you intend to do, the reasons
underlying study and how you plan to do it
o What is the design of your study
o what will you do to solve the problem
o how will you collect and analyse data
o what sort of statistical analysis will your project give
18. References
o Includes all sources of citations included
in your proposal in the required
academic style, APA, MLA, Harvard
Appendices
o Includes data collection tools, consent
forms, questionnaires, survey forms, etc.
21. Creating a Working Title
Orient your readers to your research topic.
Indicate the type of study you will conduct.
Examples:
Role of the Hydrologic Cycle in Vegetation
Response to Climate Change: An Analysis
Using VEMAP Phase 2 Model Experiments
Geographic Representations of the Planet
Mars, 1867-1907
22. Abstract
Provide a brief (100-350 word) overview of
the proposal
Summarize important elements
(Introduction, Statement of the Problem,
Background of the Study, Research
Questions or Hypotheses, and Methods
and Procedures).
23. Abstract: Example
The Black-Bellied Plover (Pluvialis squatarola) is a shorebird
species threatened with becoming endangered because of
the loss of habitat through twentieth-century urbanization. As
a step toward preventing this species from becoming
endangered, this report identifies the Black-Bellied Plover
habitat in Louisiana. To identify the habitat, I examined
information about Black-Bellied Plover sightings in Louisiana
over the last 50 years and the landuse categories derived
from satellite imagery of the sighting locations. These
examinations indicate that the Black-Bellied Plover habitat in
Louisiana is generally pasture and shrubland. To protect this
species, the Louisiana Department of Parks and Wildlife or
the private sector should conserve and monitor this habitat,
especially in the areas where the most frequent sightings
have occurred on Grand Isle and around Caillou Bay.
24. Introduction/Background
Establish the general territory (real world or
research).
Describe the broad foundations of your study—
provide sufficient background for readers.
Indicate the general scope of your project.
Provide an overview of the sections that will
appear in your proposal (optional).
Engage the readers.
25. Introduction: Example
Although they did not know of the germs the animals might carry, residents of US
cities in the 1860s and 70s cited the flies, roaches, and rats who swarmed the
tenements in arguing for community sanitary programs. In the 1950s vermin
provided justification for housing and health agencies to pursue urban renewal,
and also gave tenant activists a striking symbol of officials’ neglect of their
neighborhoods. Today, though we know that vermin produce indoor allergens, and
we have pesticides designed to keep vermin at bay, the fact that both may be
hazardous confuses parents, health officials, and other advocates who seek to
protect health. As long as people have lived in cities, pest animals have joined us
in our homes and buildings, affected our health, and propelled our policies on the
urban environment. The social geography of pests, however, reflects the social
position and physical surroundings of our neighborhoods.
The researcher’s objective is to use the ecological history and social geography of
pest animals, which have been blamed for several kinds of disease exposures
throughout the past two centuries, to investigate how health and environmental
conditions are connected with poverty in cities.
26. Statement of the Problem
Answer the question: “What is the gap that needs
to be filled?” and/or “What is the problem that
needs to be solved?”
State the problem clearly early in a paragraph.
Limit the variables you address in stating your
problem or question.
Consider framing the problem as a question.
27. Problem Statement: Example #1
Despite the growing interest in nineteenth-century
geographical representation, no geographer has yet
seriously examined the remarkable discourses that
emerged during the latter half of the century to
represent the geographies of worlds beyond Earth.
Popular histories of geography (e.g. Sheehan 1996;
Morton 2002) indicate that astronomers collected
extensive geographic data about the nearby planets,
usually recording their findings in detailed maps that
were strikingly similar in appearance to many of the
well-studied imperial maps produced during the same
time period. Although much of this astronomical-
geographical knowledge compiled during the late
nineteenth century has since been revised or
discarded on the basis of twentieth-century remote
sensing images, I contend that colonial era
discourses had widespread scientific and cultural
significance at the time they were created.
28. Problem Statement: Example #2
Reports on the state of freshwater reserves warn that severe local
shortages are imminent, and predict that violent conflicts will emerge in
water-scarce regions (Ohlson 1995, Elhance 1999). Water scarcity has
been shown to cause civil conflict, particularly when accompanied by high
population density, poverty, and income inequality (Homer-Dixon 1994,
1996; Hauge and Ellingsen, 1998). Urban migrant communities, where
ethnic, religious, and class differences can exacerbate tensions, and
community-wide patterns of adaptation to environmental scarcities are not
well-formed, may be particularly vulnerable to water conflicts (Moench
2002). To better understand how conflicts develop in water-scarce
regions, research is needed on the social and economic factors that
mediate cooperation and conflict (Ronnfeldt 1997). I propose to do an in-
depth study of Villa Israel, a barrio of Cochabamba, Brazil, where conflict
over water is an established part of life.
29. Problem Statement: Example #3
Surface light fields and surface reflectance fields are image-
based representations of lighting which are parameterized
over geometry. Constructing these representations is a
time-consuming and tedious process. The data sizes are
quite large, often requiring multiple gigabytes to represent
complex reflectance qualities. The result can only be viewed
after a length post-process is complete, so it can be difficult
to determine when the light field is sufficiently sampled.
Often, uncertainty about the sampling density leads users to
capture many more images than necessary in order to
guarantee adequate coverage. . . . The goal of this work is a
“casual capture” system which allows the user to
interactively capture and view surface light fields and
surface reflectance fields.
30. Problem Statement: Example #4
Historians searching for the causes of the Reformation
have long assigned central importance to the role of
the printing press. . . . [R]ecent scholarship has
produced a number of important studies examining the
role of printed media in the spread of the Reformation
message. Much of this work tends to focus on the
production and reception of Reformation texts and
images, with little attention paid to the means by which
such texts were distributed and circulated. Such
studies are often premised on the assumption that
texts and ideas enjoyed a relatively free circulation and
that patterns of book production and distribution
therefore serve as essentially transparent measures of
interest and demand. . . . However, virtually nowhere
in sixteenth-century Europe were ideas likely to flow
unregulated through some critical discursive field. . . . I
propose to examine the censorship of religious texts
and images within the imperial city of Nuremberg, from
[1513 until 1555].
31. Purpose/Aims/Rationale/Research Questions
Explain the goals and research objectives of the
study.
Show the original contributions of your study.
Provide a more detailed account of the points
summarized in the introduction.
Include a rationale for the study.
Be clear about what your study will not address.
32. Purpose/Aims/Rationale/Research Questions
(cont’d)
In addition, this section may:
Describe the research questions and/or
hypotheses of the study.
Include a subsection defining important terms.
State limitations of the research.
Provide a rationale for the particular subjects of
the study.
33. Purpose/Aims/Rationale/
Research Questions: Example #1
My objectives are twofold. First, I intend to examine the
effects of historic shifts in climate on the interactions of the
carbon and water cycles as simulated by the constituent
models of VEMAP Phase 2. . . . Second, I will investigate how
alterations to future climate, as simulated through the end of
the 21st century, are predicted to impact those same cycles
and interactions. The linkages between the carbon and water
cycles at the regional scale have only recently been the
subjects of research; hence, much work remains to improve
our understanding of the feedbacks between coupled
processes. . . . Questions I plan to investigate include: How
does the water balance of a region, including surface runoff,
change as a result of climate alterations . . . ?
34. Purpose/Aims/Rationale/
Research Questions: Example #2
The guiding research question is: Under what conditions do
Latinos in Queens, NY, switch their ethnic identification?
This involves the following specific objectives:
To document the incidence of multiple ethnic identities
among research participants. This involves collecting life
histories that focus on the ethnic background of informants
and their experience with ethnicity.
To determine the contexts under which people invoke
their ethnic identity. This involves collecting data on
characteristics of the community and social networks of
communities. It will also involve prolonged shadowing
observations of the participants (with their consent) in their
day-to-day activities. [etc.]
35. Review of Literature
How other scholars have written
about your topic.
The range of theories used to
analyze materials or data
How other scholars connect their
specific research topics to larger
issues, questions, or practices within
the field.
The best methodologies and
research techniques for your
particular topic.
Writing the literature review allows you to understand:
36. Review of Literature:
Rhetorical Functions
Situates the current study within a wider
disciplinary conversation.
Illustrates the uniqueness, importance of
and need for your particular project.
Justifies methodological choices.
Demonstrates familiarity with the topic and
appropriate approaches to studying it.
37. An Effective Literature Review should
Flesh out the background of your study.
Critically assess important research trends or
areas of interest.
Identify potential gaps in knowledge.
Establish a need for current and/or future
research projects.
38. Tips on drafting a literature review
Categorize the literature into recognizable topic
clusters:
stake out the various positions that are relevant to
your project,
build on conclusions that lead to your project, or
demonstrate the places where the literature is lacking.
Avoid “Smith says X, Jones says Y” literature
reviews.
Avoid including all the studies on the subject.
Avoid polemics, praise, and blame.
39. Writing Literature Reviews: Key Point
You are entering a scholarly
conversation already in progress. The
literature review shows that you’ve
been listening and that you have
something valuable to say.
After assessing the literature in your
field, you should be able to answer the
following questions:
Why should we study (further) this research
topic/problem?
What contributions will my study make to
the existing literature?
40. Literature Review: Example #1
Other studies also support the conclusion that traditional teaching
methods hinder learning calculus. Selden, Selden, and Mason, conclude
that isolated, trivial problems, the norm in many classrooms, inhibit
students from acquiring the ability to generalize calculus problem-solving
skills (Selden, Selden, and Mason 1994). Similar results are reported by
Norman and Prichard (1994). They demonstrate that many learners can
not interpret the structure of a problem beyond surface-level symbols.
They show that novices have inaccurate intuitions about problems which
lead them to attempt incorrect solution strategies (Norman and Prichard
1994). Because they cannot see beyond high-level features, they can not
develop correct intuitions. On the other hand, successful problem solvers
categorize math problems based upon underlying structural similarities
and fundamental principles (Silver 1979), (Shoenfeld and Herrman 1982).
These categories are often grouped based upon solution modes, which
the experts use to generate a forward working strategy
(Owen and Sweller 1989).
41. Literature Review: Example #2
Increasingly, the research community is turning to
coupled land-surface-atmosphere-ocean models
with dynamic modules to achieve the realism
necessary for climate studies. Most of the studies
to date have incorporated equilibrium vegetation
models into climate change simulations (e.g.,
Neilson and Marks 1994, VEMAP Members
1995 . . . ; but see Foley et al. 1998 for an
example of climate simulations with a DGVM). It is
recognized that the next stage is to include dynamic
representations of the terrestrial biosphere. In this
context, VEMAP Phase 2 model experiments will
provide a unique opportunity to assess the effects
of climate change on the hydrologic cycle and the
water balance of regions on a continental scale,
and how vegetation dynamics mediate those
responses.
42. Methodology
Introduce the overall methodological approach.
Indicate how the approach fits the overall research
design.
Describe the specific methods of data collection.
Explain how you intend to analyze and interpret your
results (i.e. statistical analysis, theoretical framework).
If necessary, provide background and rationale for
unfamiliar methodologies.
Address potential limitations.
43. Tips on Drafting Methodology
Break down your methodology into subsections.
In the physical sciences, these sections may include subjects,
design, apparatus, instrumentation, process, analysis, etc.
In the social sciences, these sections may include selection of
participants, interview process, profiles, interpretive and analytic
framework, methods of qualitative analysis, etc.
In the humanities, these sections may include scholarly
research, archival research, theoretical orientation, etc.
Remember that your methods section may also require
supporting literature.
Anticipate and pre-empt the audience’s methodological
concerns.
Acknowledge major problems.
Justify your approach by showing how benefits outweigh
potential problems.
44. Methodology:
Example #1 (Social Science)
The research plan will proceed in two phases. During the first
phase, I will select a 60-household purposive sample, create
and test interview protocols, choose key informants, and train
a research assistant. . . . During the second phase, I will
conduct in-depth interviews with key informants and four
ethnographic interviews with each household in the sample. At
the end of the second phase, I will conduct a series of
experimental economic games to determine the norms of trust
and reciprocity in the community. . . . The research design has
several strengths. First, ethnographic study will yield data with
high internal validity about how responses to water scarcity
evolve over the wet-to-dry cycle (Kirk and Miller 1986).
Second . . . (After providing a rationale for the research
design, the author goes on to describe in detail the site
selection and methods of data collection and analysis).
45. Methodology:
Example #2 (Humanities)
My research draws on a three-tiered
methodological approach: close textual analysis
of primary source material; historical
contextualization of both primary documents and
broader socio-cultural framework through archival
research and secondary histories; and
interpretation of primary texts through theoretical
frameworks, including spatial theories and gender
studies. (Goes on to describe specific theoretical
frameworks).
46. Methodology:
Example #3 (Physical Sciences)
I am proposing two major analyses: 1) a comparison of simulated to
observed streamflow and soil moisture for the historical period as a
means of validating the hydrology of the VEMAP models, and 2) an
examination of how changes in the water balance affect species’
distributions over the entire simulation period, and vice versa. . . .
VEMAP Phase 2 model runs will cover two periods: (1) the baseline or
historical period from 1895-1993, and (2) a period of altered climate
inputs from 1994 through the end of the twenty-first century as derived
from three climate model experiments: i) The Canadian Centre for
Climate Modeling and Analysis . . . The nearly 100-year baseline period
will allow for the examination of multi-decadal variations that may be of
similar magnitude to the effects of climate change. (Goes on to describe
sources for historical data, and how the interaction between water
balance and species’ distribution will be measured).
47. Significance/Implications
Discuss the methodological,
substantive, and/or theoretical
contribution.
State the practical and/or theoretical
importance of the problem and/or
objectives of your study.
Explain the usefulness or benefits of
the study to both the outside world
and the research community.
48. Significance/Importance: Example
My research on identity and development is innovative
because it brings together analysis of national
discourses about Indians with a study of the practices
and choices of the individual Indians whose identities are
at issue. I believe this research can be helpful to the
nation, development agencies, and indigenous
organizations as Bolivia works out what a multicultural
identity will mean for its people. I am particularly
committed to sharing the results of my analysis with the
Guaraní people with whom I work, in the hopes that my
work will not just be an extraction of truths, but will give
them information with which they can better control their
lives and resources.
50. Overview of Chapters
Some proposals include a sentence length
description of each chapter (i.e. chapter two
reviews relevant literature; chapter three
discusses the methodology).
Other proposals include more in-depth reviews
of body chapters that might include major
hypotheses, arguments, methods, etc. for each
chapter.
51. Timeline/Plan of Work
Some things to keep in mind:
Consult your advisor.
Be aware of important dates for submitting and
defending dissertations.
Do not be overly ambitious.
Remember that your proposed timeline demonstrates
your awareness of the various elements of the study
(IRB approval, travel; design, testing, and length of
experiments; negotiation of entry into the study site;
purchase of necessary equipment; drafting;
redrafting).
52. Bibliography & Appendices
Include a working bibliography of key texts
that inform your study and methodology.
Your appendices may include Experiment
Diagrams, Permissions for Human Subject
Testing, etc.
Both bibliographies and required
appendices tend to be discipline specific:
know what the requirements are.
53. More Proposal “Nuts and Bolts”
Length
Varies by field; most are roughly 20 pages,
but they can be much longer.
Style Considerations
Tone
Coherence
Voice
Visual Aids
54. Style Considerations: Tone
When conveying your attitude in
your writing:
Try to strike a consistently confident
tone.
Avoid an apologetic or arrogant tone.
55. Style Considerations: Coherence
Move from “old” information to “new”
information.
Put the most important information at the end of
the sentence (stress position).
Keep the subject and verb together.
Start sentences with short, easily understood
phrases.
Use “stock” transitional phrases.
Use pronouns and/or recycling.
56. Coherence: Example
Example: When rocks erode, they break down into sediment
—smaller pieces of rock and minerals. These sediments
may eventually travel in water to new sites such as the sea
or river beds. The water deposits the sediments in layers
that become buried and compacted. In time, the sediment
particles are cemented together to form new rocks, known
as sedimentary rocks. The layers of sediment in these rocks
are often visible without microscopes. (Lay et al., 2000).
57. More “Nuts and Bolts”: Voice and
Visual Aids
Voice
Active: I will conduct the bulk of the research during
the six-month fieldwork period.
Passive: The bulk of the research will be conducted
during fieldwork.
Reasons to use Passive Voice:
Your field may prefer its use, especially in describing
research design and experimental activities.
You need to preserve coherence from sentence to
sentence.
58. Voice: Example (using passive
voice to create coherence)
Some astonishing questions about
the nature of the universe have
been raised by scientists studying
black holes in space. A Black Hole
is created by the collapse of a dead
star into a point perhaps no larger
than a marble. So much matter
compressed into so little volume
changes the fabric of space around
it in puzzling ways.
59. Visual Aids
Incorporate charts, graphs,
diagrams, illustrations, etc.,
wherever possible,
permissible, or practical.
60. Entering the Academic Conversation
Creating a Research Space
Move 1: Establishing a Territory
Show centrality
Review previous research
Move 2: Creating a Niche
Indicate a gap or extend previous knowledge
Move 3: Occupying the Niche
Outline purposes
List Research Questions or Hypotheses
Announce principle findings
State value of research
Preview structure of paper
61. You are ready to write a dissertation
proposal when:
Chosen a topic related to your field
Brainstormed/ narrowed down your topic into
something manageable for your dissertation
Checked the feasibility of your topic through
preliminary literature search
Decided on what to research (maybe original or
novel) but must be able to find relevant literature
Gathered some literature to cite in the proposal
Know about research methodology and methods
to develop a proposed methodology
62. The purpose of the proposal:
convince your committee that there is a
tractable research question which is worth
pursuing.
convince the committee that you are in a
position to do a good job pursuing the
research question.
63. The proposal should demonstrate that you:
have defined and delimited an interesting
research question
can explain the importance of the question to
someone not intimately familiar with it
can formulate testable hypotheses
have a detailed plan for testing the most
promising hypotheses
64. You do not have to read everything that was
ever written about anything that might
conceivably be relevant to a full
understanding of the subject you are
interested in addressing before you write the
proposal.
However, you are expected to be familiar
with the material that is most important to
your subject.
65. State the objectives and significance of your
research clearly
Show the contribution of your research in advancing
the knowledge of your field of study
Be focused on your research questions
Provide a sound theoretical framework of your study
based on comprehensive literature review (after you
have finished your thesis, you should be the expert
and pioneer in your field)
Make sure that you have cited the most important
seminal work related to your study
66. Questions to answer
What is the problem you intend to
address?
If you can’t explain your research problem,
clearly and concisely, you probably don’t
understand it.
Why is the problem interesting and
challenging?
Remember, your audience need to understand
not just what your problem is, but why it’s an
appropriate research topic at the masters or
doctoral level.
66
67. In what sense are previous solutions to the
problem inadequate?
In rare cases, you’re attacking a completely new
problem that no one has ever attempted to
address. However, it’s much more common to be
making an incremental improvement on
previously-existing work. You need to understand
what this work is, and to be able to explain it. If
you don’t understand how your work fits in with
previous work, you’re likely to waste time
reinventing the wheel.
67
68. What is your proposed approach to
addressing the problem?
At the proposal stage, it’s not enough to have an
understanding of the problem; you also need to
know how you intend to solve it. This doesn’t
mean you need to know the solution yet (that’s
what your research is for), but you do need to
have some idea of what you’re actually going to
do.
You do not need a project management chart with
time lines and milestones in your presentation.
Rather, you need to explain the key steps that will
get you from your current level of knowledge to
the conclusion of your research.
68
69. How will you evaluate your work?
This is related to the previous question. The
criteria by which you judged previous solutions
unsatisfactory are exactly the criteria you should
be using to evaluate the success of your own
work.
69
70. What is your dissertation about?
What theory is underlying your dissertation
proposal?
What hypotheses will your dissertation test
and what are your dissertation research
questions? How will you operationalize the
variables in your dissertation?
What related research has been completed on
your dissertation topic?
Here, when presenting your dissertation
proposal, be ready to give specific examples!
70
